trading orders.In case of {A}, the SEC received the report from Asia Plus Securities Plc. on investigation spurred from clients? complaint about {A}'s conducts. It was found that {A} had sent trading orders

orders sent through him for several days. {A} admitted that the securities trading orders were taken via mobile phone; the misconduct of which he had previously committed. In case of {B}, the SEC found

statement for the year 2020 and those financial report within the period specified by the Notification of the Capital Market Supervisory Board. The inquiry official sent the case back to the Settlement

the notification of the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is duly required to be performed. The inquiry official sent the case back

account owner.The SEC and RHB OSK found that {A} took securities trading orders from a client using an alias through chat program. The client also sent securities trading orders on behalf of other 12

Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to

orders. Following a report on client's complaint filed by Country Group Securities PLC., the SEC probed into the case and found that {A} sent trading orders from the client's securities trading account

Companies dated 29 June 2006. Clause 2 In the Notification: “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ securities company reporting

-2741-5700-5 / Fax 0-2741-6878 / Company Tax ID : 0107545000021 No. 7UP 015/62 April 9, 2019 Subject : Notification for Resolution of Board of Director's Meeting No. 3/2019 regarding the Acquisition and